WORKFLOW & TASK MANAGEMENT

Workflows streamline tasks across the business, transitioning them from executors to reviewers. They also capture evidence to validate risk and compliance activities, ensuring each task is assessed by the appropriate personnel for accuracy and completeness.

This Article covers everything you need to know about workflow in our App Suite.

#1: Overview

In App Suite, responsibility for operational tasks, such as Risk, Control, or Action, is defined using three key roles:

• Manager: This individual carries out the necessary activities for the task.

• Reviewer: Once the task is done, the Reviewer ensures its quality and accuracy.

• Owner: This person holds the ultimate responsibility for the task, overseeing both the Manager and Reviewer.

#2: Types of Workflows

In our App Suite, we offer two workflow types: a 3 Stage workflow and a 2 Stage workflow.

Types of Workflow vs. Roles for each Operational Task

• 3 Stage Workflow: This is suitable for larger teams. Here, the review process is typically delegated to the direct report of the Owner.

• 2 Stage Workflow: Designed for smaller teams where Owners might wear multiple hats. In such scenarios, the Owner delegates the sign-off to the individual in the Reviewer role but continues to retain the ultimate responsibility for the operational task.

NOTE: Our App Suite allows for the same individual to be assigned across all three roles. This is useful for small teams but we do recommend that at least two individuals are assigned to an operational unit as it is considered best practice.

#3: Workflows in Action

In the Registers, the workflow information is available when a particular item is expanded.

The screenshot below shows a 2 Stage workflow. In its current state, the operational task has been prepared and is awaiting sign-off. On the left, the Next Prepare and Next Sign-off dates are also shown so users are aware of the timelines.

2 Stage workflow that has been prepared and awaiting sign-off.

The screenshot below shows the same operational task (Control) with a 3 Stage workflow. Here is the rewritten text:

The screenshot presented below displays an operational task called Control, which has a 3-stage workflow. You can see three boxes that indicate the current step of the workflow for the task. The app also automatically calculates the deadline by which the Reviewer must complete their step.

3 Stage workflow that has been Prepared and awaiting Review & Sign-off.

NOTE: Admin users can switch between 2 Stage and 3 Stage workflows on the fly (see #6 below)

#4: Audit Trails

The Tracks & Trends on the Cards page captures all workflow activities, including the date and the individual that complete the task, along with any evidence attached to support the assessment.

Tracks & Trend capturing the audit trail of the assessments, including evidence attached.

As workflows are completed, their audit trails are systematically grouped. This organization allows the first, second, and third lines of defense to effortlessly review the records, eliminating the need to interrupt the first line for evidence of their compliance actions.

#5: Updating Signed-off Assessments

There may be instances where an assessment may need to be updated after it has been signed off. Some examples of this could be when:

• Evidence for an Assessment was not available at the time of sign-off (e.g. Board Meeting Minutes); OR

• There are updates to an operational activity that is tested less frequently (e.g. annually, bi-annually).

In these cases, an Update can be made to existing assessments in the Track and Trends.

How to provide updates to a signed-off Assessment.

NOTE: to ensure data quality, only Owners and Reviewers are allowed to make updates to signed off operational tasks (Risks, Controls, Actions etc.).

#6: Setting up Workflows (Admins only)

Workflow settings under Admin's Customize Panel

The Workflows can be fully controlled by Admin users, who can turn them on/off and choose between 3 Stage or 2 Stage workflow. To access the workflow settings, go to the Customize panel under Application Settings.

In the Customize Page, locate the Workflow Tab to toggle individual workflows for CORE Elements such as Risks, Controls, Indicators, etc. By default, Workflows are activated with 3 stages. However, toggling on "Workflow 2 Step" changes the workflow to 2 stages.

Workflow settings - How to turn them on/off and switch between 3 Stage and 2 Stage Workflows

In summary, the App Suite offers a flexible and robust system to manage, review, and ensure the accuracy and completeness of operational tasks at every step. Whether your team is big or small, our solution is tailored to fit your needs. If you still have questions about Workflows, don't hesitate to contact our team.